Senior Compliance Associate – Asset Manager

MERJE are partnering with a growing Asset Manager in their search for a Senior Compliance Associate.

Working in a small team of 3, but as part of a wider investment group, you will take on a broad range of responsibilities.

• Support the SMF 16/17 in all investment compliance oversight activities.
• Completion of the agreed compliance monitoring programme in a timely and effective manner
• Review of marketing materials
• Assisting with day-to-day ad-hoc queries received from the business.
• Ensure compliance policies are reviewed and updated on a regular basis.
• Provide compliance input into projects as required.
• Monitor PA dealing requests and Gifts and Entertainment submissions.
• Review and approve financial promotions.
• Assist the SMF16 in the preparation of management information for Committee and Board

You will have:

• 3-5 years of broad based compliance experience gained in an Asset or Fund Management environment
• Strong compliance Monitoring experience
• Good knowledge in MIFID, UCITS and AIFMD requirements, product governance, systems and controls, conflicts of interest, consumer duty.
• Excellent attention to detail and strong reporting writing skills
• Good interpersonal skills / ability to engage across all levels

Please do not apply if you do not meet the above requirements.

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